Neil A. Pollak
Professional summary
Neil Alan Pollak is a registered financial professional currently at BARNABAS CAPITAL, LLC located in Charlotte, North Carolina.
Neil is registered as a RR (Registered Representative) and started their career in finance in 1981. Neil has worked at 16 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Neil Alan Pollak's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 15, 2019 - Present
BARNABAS CAPITAL, LLC
Office #1: 227 West Trade Street Suite 1610, Charlotte, NC 28202Office #2: 227 West Trade Street Suite 1610, Charlotte, NC 28202May 25, 2021 - August 10, 2021
LIBERTY ASSOCIATES, INC.
January 30, 2019 - April 26, 2019
R.M. STARK & CO., INC.
April 26, 2018 - November 15, 2019
FMG DISTRIBUTORS, INC.
May 5, 2015 - December 31, 2015
THE LEADERS GROUP, INC.
April 22, 2008 - March 27, 2017
MUTUAL TRUST COMPANY OF AMERICA SECURITIES
January 1, 2004 - December 10, 2007
VOYA FINANCIAL ADVISORS, INC.
November 26, 2002 - January 1, 2004
LOCUST STREET SECURITIES, INC.
April 12, 2000 - November 26, 2002
TOUCHSTONE SECURITIES, INC.
June 30, 1999 - April 11, 2000
ARM SECURITIES CORPORATION
April 23, 1998 - June 30, 1999
FMG DISTRIBUTORS, INC.
August 23, 1996 - April 21, 1998
PUBLIC EMPLOYEES EQUITIES SERVICES COMPANY
August 23, 1994 - December 14, 1994
GROSSMAN & CO., LLC.
February 21, 1994 - February 25, 1994
CITICORP INVESTMENT SERVICES
July 12, 1988 - December 21, 1989
GLOBAL ATLANTIC DISTRIBUTORS, LLC
January 23, 1986 - May 12, 1987
TRANSAMERICA CAPITAL, LLC
May 18, 1981 - April 9, 1986
METLIFE INVESTORS DISTRIBUTION COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/15/2019)
(11/15/2019)
Exams
FINRA
Current Firm
BARNABAS CAPITAL, LLC
CRD#: 297890 / SEC#: , 8-70192
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMBASSADOR CAPITAL, LLC | DIRECT OWNER | |
| CAPITAL CALL, LLC | DIRECT OWNER | |
| COOPER FAMILY ENTERPRISES, LLC | DIRECT OWNER | |
| ERICKA A. CAIN OR SUCCESSOR, AS TRUSTEE OF THE REVOCABLE TRUST OF ERICKA A. CAIN U/A/D JUNE 23, 2010 | DIRECT OWNER | |
| LEE, JOSEPH CHARLES JR | DIRECT OWNER | 2783885 |
| LIFE INNOVATIONS, LLC | DIRECT OWNER | |
| WILLIAM H. CAIN, OR SUCCESSOR, AS TRUSTEE OF THE REVOCABLE TRUST OF WILLIAN H. CAIN U/A/D JUNE 23, 2010 | DIRECT OWNER | |
| CAIN, ERICKA ADAMS MS. | TRUSTEE | |
| CAIN, WILLIAM HENRY | TRUSTEE | |
| ENTERLINE CAPITAL, LLC | DIRECT OWNER | |
| HAYES, SUSAN ANN | FINOP / PFO / POO | 2856326 |
| POWELL, JOSEPH CARL | PRESIDENT | 4798071 |
| STANTON, KIMBERLY MARIE | CHIEF COMPLIANCE OFFICER | 6574919 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
